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nasd and regulations - All News and Analysis

• REGULATION

  - 2008-02-01

  This year promises to be filled with changes that will shake up the usually staid world of compliance and spark heated debates about the future of financial regulation in the United States. After years of increasing regulation, there's a growing backlash with Wall Street heavyweights lamenting the loss of...

  Tags: financial, FINRA, Government, NASD, regulation, Regulations, U.S.

• Arctic Oil & Gas Corporation Initiates Trading Under the Symbol AOAG on the NASD Over-the-Counter Exchange

  - 2008-01-22

  Arctic Oil & Gas Corp. (OTCBB: AOAG), an oil exploration venture company that has filed for the exclusive exploitation, development, marketing and extraction rights to the oil and gas resources of the seafloor and subsurface contained within the "Arctic Claims," is pleased to announce that it has begun trading on...

  Tags: consortium, E-mail, extraction, Government, MARKETING, NASD, Regulations

• Power sources.(Nongovernmental organizations)(rules governing property and casualty insurance industry, securities industry and rating agencies (Securities))(Brief article)

  - 2007-11-01

  Nongovernmental organizations wield de facto authority, often channeled through government agencies. FINANCIAL INDUSTRY REGULATORY AUTHORITY (www.finra.org) Formerly the National Association of Securities Dealers NASD, FINRA, created in July 2007, is the largest nongovernmental regulator for all securities firms doing business in...

  Tags: agency, FINANCE, financial, GAAP, Government, Insurance, NASD, Regulations, regulator, security

• Tekoil Moves to OTC Bulletin Board

  - 2007-07-25

  Tekoil & Gas Corporation (the "Company") (OTCBB: TKGN) announced today that its common stock, $0.000001 par value (the "Common Stock"), will now be quoted on the OTC Bulletin Board, effective July 24, 2007, under the symbol "TKGN." The Company's Common Stock has previously been quoted on the Pink Sheets....

  Tags: FINANCE, Government, Investment, NASD, Regulations

• Merged

  - 2007-06-01

  When members of the Securities Industry and Financial Markets Association's Regional Firms Committee met with Mary L. Schapiro last July, they were pleased with what they heard. "She has been very open about the merger and how to make things accretive to us as members," says Walter S....

  Tags: FINANCE, Government, Investment, NASD, Regulations, regulator

• 4 questions

  - 2007-06-01

  Mary Schapiro is chairman and CEO of the NASD, which is set to merge later this year with the New York Stock Exchange. She spoke to us about the new organization that she has been appointed to lead. Can firms expect their relationship with the NASD to change...

  Tags: FINANCE, Government, Investment, NASD, NYSE Euronext, Regulations

• Lek Securities Wins NASD OATS Challenge

  - 2007-04-05

  --Decision Indicates Unmanageable Regulation and Lek calls for Continued Reform-- NEW YORK -- Lek Securities, a leading institutional direct access broker-dealer, today announced that the firm won a significant challenge to National Association of Securities Dealers' NASD charges that the broker-dealer did not submit trade information required for compliance...

  Tags: Government, NASD, regulation, Regulations

• Regulation Round Table.

  - 2007-03-19

  The following is the edited transcript of the round-table discussion. Ms. Hansard: What will the consolidation [of the regulatory operations of Washington-based NASD and the New York Stock Exchange Group Inc.] mean for the industry? Ms. Walter:...

  Tags: Benefits, FINANCE, Government, investor, NASD, Regulations, regulator, SEC, Walter

• NASDNYSE Merger Bodes Well for Brokers

  - 2007-03-01

  The recent announcement that the NASD and the New York Stock Exchange would consolidate regulation of securities firms has been welcomed by brokers and attorneys alike. And although many observers are realistic about the potential impact, the general perception is that the move will make brokers lives much easier. ...

  Tags: Government, NASD, NYSE Euronext, Regulations, regulator

• Brokers Okay New SRO Plan

  - 2007-02-01

  Wall Street's unique system of self-regulation just got streamlined by a recent vote of NASD members. Some 64 percent of NASD's members approved bylaw changes required to merge NASD with the regulatory arm of the New York Stock Exchange. Almost 83 percent of eligible members voted. ...

  Tags: Government, NASD, NYSE Euronext, Regulations, regulator